What is ISO 27001 Annex A 5.5 in ISO 27001?
Annex A 5.5 requires a documented process for managing interactions with regulatory bodies. You must maintain an up-to-date registry of relevant authorities within your internal document management system. Use SharePoint or a company wiki to store contact details. This ensures timely communication during security incidents or legal requests.
Auditor’s Eye: The Shortcut Trap
Automated SaaS platforms often provide a list of generic authorities. This is a shortcut. Auditors look for specific evidence of your local regulatory environment. If your evidence only exists as a tick in a SaaS tool: you fail. We want to see your internal directory in SharePoint. This proves management owns the process. Black-box tools decouple security from operations. They hide the lack of genuine procedural knowledge.
| Feature | ISO 27001:2013 Reference | ISO 27001:2022 Reference |
|---|---|---|
| Control Number | A.6.1.3 | Annex A 5.5 |
| Control Name | Contact with authorities | Contact with authorities |
| Primary Requirement | Maintain appropriate contact. | Maintain appropriate contact with relevant authorities. |
How to Implement ISO 27001 Annex A 5.5 (Step-by-Step)
Identify and document all regulatory and legal bodies relevant to your business operations. You must use your existing business tools to manage these contacts. This ensures the process is part of your organisational culture. Treat this as a documented procedure, not a software installation. Follow these steps for an integrated approach.
Step 1: Create an Authority Registry in SharePoint
Develop a central list of all relevant authorities. Include the Information Commissioner’s Office and local law enforcement. Add contact numbers and official email addresses. Maintain this in a version-controlled SharePoint list. This provides an audit trail of regular updates.
Step 2: Define Communication Protocols in Confluence
Document the specific circumstances for contacting each authority. Define who is authorised to speak on behalf of the company. Store these rules in a Confluence wiki. This ensures all staff understand the escalation paths. It prevents unauthorised or incorrect disclosures.
Step 3: Use Jira for Incident Reporting to Authorities
Configure your Jira service desk to include authority notification steps. Trigger these steps during high-priority security incidents. Log the date, time, and content of all communications. This provides concrete evidence of compliance. It shows that contact is an operational reality.
ISO 27001 Annex A 5.5 Audit Evidence Checklist
Focus on manual records and internal document versions. These prove human oversight and intent. Auditors look for the following items:
- A current authority contact list stored in SharePoint.
- Incident reports in Jira showing communication with regulators.
- Meeting minutes from management reviews of regulatory obligations.
- Documented roles in Confluence for authority engagement.
- Copies of regulatory filings or registrations held internally.
Relational Mapping
Annex A 5.5 supports Clause 4.2 by addressing stakeholder needs. It links directly to Annex A 5.7 for threat intelligence gathering. It also supports Annex A 5.24 for incident management. Furthermore, it ensures compliance with Clause 6.1.2 risk evaluation criteria. This control is vital for legal and regulatory adherence.
Auditor Interview: Direct Process Management
Question: How do you decide which authorities to contact during an incident?
Answer: We follow the authority communication matrix stored in our Confluence wiki.
Question: Where is the record of your most recent contact with a regulator?
Answer: All regulatory correspondence is logged in our SharePoint incident folder.
Question: How often do you update your authority directory?
Answer: We review contact details every six months during our management meetings.
Common Non-Conformities
| Failure Mode | Cause | Auditor Finding |
|---|---|---|
| Automated Complacency | Relying on a SaaS platform’s default contact list. | Major NC: No evidence of local regulatory knowledge. |
| Outdated Directory | Failing to update contact details annually. | Minor NC: Contact information is no longer valid. |
| Lack of Oversight | Contact occurs via private staff email accounts. | Major NC: Communication is not documented within the ISMS. |
Frequently Asked Questions
What is the bottom line for Annex A 5.5?
The bottom line is maintaining an accurate registry of authorities. You must define engagement rules in your internal systems. Use SharePoint or a company wiki for this. This ensures security is integrated into your daily business operations. It prevents reliance on generic software tools.
How does the organisation identify relevant authorities?
The organisation reviews its legal and regulatory environment annually. We map these obligations to specific bodies in our SharePoint registry. Legal counsel and senior management approve this list. This ensures all relevant stakeholders are identified. It provides a robust foundation for external communication.
Why is Jira used for authority notifications?
Jira provides a timestamped and unalterable audit trail. It links the notification directly to the specific security incident. This proves to auditors that the organisation follows its own procedures. It integrates compliance into the technical workflow. This is superior to using detached SaaS compliance apps.